DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
E••••• P••••••• A•••• M••••••••• L••••••
Legal name N•••••• B••• P•• •••
Latest filing Aug 3, 2026
First filing on the tape Feb 13, 2012 · 37 filings
SEC status approved since Mar 29, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$694M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
126
34 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.1B as of Aug 3, 2026
May 31, 2012$1.8B then
HNW client RAUM$576M as of Aug 3, 2026
Mar 29, 2018$786M then
State-registered IARs (5.B.3)0 as of Aug 3, 2026
Apr 4, 20130 then
Employees (5.A)126 as of Aug 3, 2026
Apr 4, 201363 then
Private funds1 as of Aug 3, 2026
May 31, 20122 then
RAUM -13% over the last fiscal year+0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$576M54%
- Pooled investment vehicles$249M24%
- Individuals$118M11%
- Corporations and businesses$116M11%
- Individual clients
- 291reported
- HNW clients
- 169reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 466reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.65 fund_share=0.24 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• P••••••• G••••• I•• G• L•••••• | Other Private Fund | $93.6M | 2 | Feb 13, 2012 |
| I•••••••• G••••• G••••• F•••no longer reported | Other Private Fund | $87.4M | 3 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•••••• M••••• · Director, Chief Financial Officercontrolsince 09/2018 · owns less than 5%
- B••••• S••••• A•• · Independent Non Executive Directorcontrolsince 03/2024 · owns less than 5%
- C•••• D••••• M••••• · Non Executive Directorcontrolsince 06/2021 · owns less than 5%
- D•••••• C••••••••• N•• · Group General Counselcontrolsince 09/2022 · owns less than 5%
- D•••••• P••••• H•••••• · Non Executive Directorcontrolsince 09/2020 · owns less than 5%
- G•••••• P•••• R••••• · Director, Chief Executive Officercontrolsince 10/2023 · owns less than 5%
- G••••• C••••••••• M••••••• · Non Executive Chairmancontrolsince 02/2022 · owns less than 5%
- J••••• K•••• · Independent Non Executive Directorcontrolsince 09/2020 · owns less than 5%
- K••••• C••••••••• J••• · Executive Directorcontrolsince 06/2026 · owns less than 5%
- M••••••••• B••••••• N•• · Chief Operating Officercontrolsince 05/2025 · owns less than 5%
- M•••••••• P••••••• J••••••• · Independent Non- Executive Directorcontrolsince 06/2026 · owns less than 5%
- M••••••• P•••••• S•••••••• · Non Executive Directorcontrolsince 09/2020 · owns less than 5%
- M•••••••• M•••••••• N•• · Executive Directorcontrolsince 06/2026 · owns less than 5%
- P•••• C••••••••• J•• · Non Executive Directorcontrolsince 09/2020 · owns less than 5%
- P••••••• M••••• · Chief Operations Officercontrolsince 03/2022 · owns less than 5%
- R•••••••• M•••• M••••• · Independent Non- Executive Directorcontrolsince 06/2026 · owns less than 5%
- R•••••••• A•••• H•••• · Independent Non- Executive Directorcontrolsince 06/2026 · owns less than 5%
- S••••••• B••••••• N•• · Chief Risk Officer & Group Head Of Compliancecontrolsince 08/2024 · owns less than 5%
- S••••• C••••• R••••••• · Independent Non Executive Directorcontrolsince 09/2020 · owns less than 5%
- S••••• J••••• N•• · Independent Non- Executive Directorcontrolsince 06/2026 · owns less than 5%
- W••••••• K•••••• · Independent Non Executive Directorcontrolsince 09/2022 · owns less than 5%
Entity owners
- E••••• P••••••• G•••• L•••••• · Shareholderdirect · owns 75% or more
- P••••••• L••• G••••••• L•••••• · Shareholderindirect · owns 50% to 75% of S••••••• J•••• V•••••• L•••
- S••••••• J•••• V•••••• L••• · Shareholderindirect · owns 75% or more of S••••••• T•••• G••••••• L••••••
- S••••••• T•••• G••••••• L•••••• · Shareholderindirect · owns 75% or more of V••••• T•••• G••••••• L••••••
- V••••• D••••• G••••••• L•••••• · Shareholderindirect · owns 75% or more of E••••• P••••••• G•••• L••••••
- V••••• E••••••• G••••••• L•••••• · Shareholderindirect · owns 75% or more of V••••• D••••• G••••••• L••••••
- V••••• T•••• G••••••• L•••••• · Shareholderindirect · owns 75% or more of V••••• E••••••• G••••••• L••••••
- W•••••• L•••••• P•••••• L••• · Shareholderindirect · owns 25% to 50% of S••••••• J•••• V•••••• L•••
Related persons
Schedule D 7.A
- E••••• P••••••• G••••• I•• G• L••••••investment adviserpooled vehicle sponsorn
- E••••• P••••••• I••••••••• M••••••••• S••••••• L••••••broker-dealerinvestment advisern
- E••••• P••••••• L••insurancen
- E••••• P••••••• S•••••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Guildford, United Kingdom1 employees
ADV anomalies
23 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 3, 2026C•••• D••••• M••••• (NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026G•••••• P•••• R••••• (DIRECTOR, CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026B••••• S••••• A•• (INDEPENDENT NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026R•••••••• M•••• M••••• (INDEPENDENT NON- EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026J••••• K•••• (INDEPENDENT NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026M•••••••• M•••••••• N•• (EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026B•••••••• A•••••• M••••• (DIRECTOR, CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026R•••••••• A•••• H•••• (INDEPENDENT NON- EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026P•••• C••••••••• J•• (NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026S••••• C••••• R••••••• (INDEPENDENT NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026G••••• C••••••••• M••••••• (NON EXECUTIVE CHAIRMAN) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026M••••••••• B••••••• N•• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026D•••••• P••••• H•••••• (NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026M••••••• P•••••• S•••••••• (NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026W••••••• K•••••• (INDEPENDENT NON EXECUTIVE DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026P••••••• M••••• (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026K••••• C••••••••• J••• (EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026S••••• J••••• N•• (INDEPENDENT NON- EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026M•••••••• P••••••• J••••••• (INDEPENDENT NON- EXECUTIVE DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-03peers: independent wealth managers, $1B to $5B (1,362)
- institutional to wealth shiftCombination · filing Apr 1, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $1,213,158,729 to $1,059,392,636, advisors 0 to 0, private clients 433 to 460, offices 1 to 1 (2025-03-28 to 2026-04-01)peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Legal name · E••••• P••••••• A•••• M••••••••• L•••••• to N•••••• B••• P•• •••Apr 1, 2026 to Aug 3, 2026
- Accounts · 458 to 466Nov 18, 2025 to Mar 31, 2026
- Advisory employees · 29 to 34Nov 18, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Nov 18, 2025 to Mar 31, 2026
- Corporate clients · 9 to 5Nov 18, 2025 to Mar 31, 2026
- HNW clients · 137 to 169Nov 18, 2025 to Mar 31, 2026
- Individual clients · 296 to 291Nov 18, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 1Nov 18, 2025 to Mar 31, 2026
- Employees · 89 to 126Nov 18, 2025 to Mar 31, 2026
- Financial planning clients · to 11-25Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.1BNov 18, 2025 to Mar 31, 2026
- HNW RAUM · $415M to $576MNov 18, 2025 to Mar 31, 2026
- Individual RAUM · $108M to $118MNov 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.8M to $0Nov 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $180M to $249MNov 18, 2025 to Mar 31, 2026
- RAUM · $1.2B to $1.1BNov 18, 2025 to Mar 31, 2026
- Related insurance company · true to falseMay 6, 2025 to Nov 18, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 6, 2025
- Accounts · 486 to 458Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 154 to 29Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 11 to 9Mar 28, 2024 to Mar 28, 2025
- HNW clients · 0 to 137Mar 28, 2024 to Mar 28, 2025
- Individual clients · 468 to 296Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 5Mar 28, 2024 to Mar 28, 2025
- Employees · 1,103 to 89Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $0 to $415MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $433M to $108MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.6M to $4.8MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $585M to $180MMar 28, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- Accounts · 390 to 486Dec 21, 2023 to Mar 28, 2024
- Advisory employees · 128 to 154Dec 21, 2023 to Mar 28, 2024
- Corporate clients · 9 to 11Dec 21, 2023 to Mar 28, 2024
- Individual clients · 125 to 468Dec 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 7Dec 21, 2023 to Mar 28, 2024
- Employees · 977 to 1,103Dec 21, 2023 to Mar 28, 2024
- Other offices · 0 to 1Dec 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.1BDec 21, 2023 to Mar 28, 2024
Signals
37 dated events
- Ann S•••• B•••• (Independent Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 28, 2024 · Control person joined · fact
- G•••• E•••••••• C••••••• (Independent Non Executive Director) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2023-12-21, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- W•••••• P••••• Best (Group Chief Risk & Compliance Officer) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2023-10-31, absent 2023-12-21)Dec 21, 2023 · Control person left · inference
- Bindesh Savjani (Chief Risk Officer & Group Head Of Compliance Designate) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Dec 21, 2023 · Control person joined · fact
- K•••• C••••••••• Woodhouse (Director, Chief Executive Officer) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2023-03-31, absent 2023-10-31)Oct 31, 2023 · Control person left · inference
- R••••• P••• G••••• (Director, Chief Executive Officer) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Oct 31, 2023 · Control person joined · fact
- E••••• P••••••• A•••• M••••••••• L•••••• reported RAUM $1.1B, down 52% from $2.2B (2022-12-19 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C•••••••• D••••• (Group General Counsel) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Dec 19, 2022 · Control person joined · fact
- N••••• M••••••••• (Group General Counsel And Money Laundering Reporting Officer) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2022-12-02, absent 2022-12-19)Dec 19, 2022 · Control person left · inference
- W•••••• F•••••••• Mcnabb Iii (Independent Non Executive Director) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2022-11-03, absent 2022-12-02)Dec 2, 2022 · Control person left · inference
- K•••••• W•••••• (Independent Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Oct 4, 2022 · Control person joined · fact
- M••••••• C••••••••• G•••• (Non Executive Chairman) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2022 · Control person joined · fact
- M••••• P•••••• (Chief Operations Officer) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2022 · Control person joined · fact
- P•••• K•••• S••••• (Executive Director) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- M••••••• W•••••• S••••• (Non Executive Chairman) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- S••••••• W•••••• D••••• R••• (Chief Operations Officer) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- W•••••• P••••• Best (Group Chief Risk & Compliance Officer) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- M••••• David Cobb (Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- P•••• K•••• S••••• (Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- G•••• E•••••••• C••••••• (Independent Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- Hepburn P•••• Deming (Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- W•••••• F•••••••• Mcnabb Iii (Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- Keith Jones (Independent Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- S•••••••• P••••• M•••••• (Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- Jon C••••••••• P••• (Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- M••••••• W•••••• S••••• (Non Executive Chairman) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- R••••••• C•••• S•••• (Independent Non Executive Director) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- N••••• M••••••••• (Group General Counsel And Money Laundering Reporting Officer) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- S••••••• W•••••• D••••• R••• (Chief Operations Officer) appeared on Schedule A of E••••• P••••••• A•••• M••••••••• L••••••Mar 31, 2021 · Control person joined · fact
- E•••••••• Katharine Domanski (Chief Compliance Officer) no longer on Schedule A of E••••• P••••••• A•••• M••••••••• L•••••• (listed 2020-07-09, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- E••••• P••••••• A•••• M••••••••• L•••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- u••.e•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 442071314000reportedpublic record, Form ADV, Aug 3, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026